MassMutual · 23 hours ago
Compliance Consultant
Springfield, MA
Full-time
Hybrid
Senior Level
5+ years expMassMutual is a company focused on compliance and ethics, and they are seeking a Compliance Consultant to join their Emerging Technology and Communications Compliance Team. The role involves providing compliance oversight for broker dealers and investment advisory businesses, collaborating with various teams, and maintaining compliance standards for social media and marketing initiatives.
FinanceFinancial ServicesInsuranceLife InsuranceRetirement
Responsibilities
Serve as a Compliance business partner for Marketing, Marketing Platforms, and Corporate Social Teams, coordinating project support for business and marketing initiatives
Act as the Social Media contact for the Communications Compliance team, attending meetings and calls to discuss policy guidelines
Maintain and update social media governance for Field and Home Office, including policy standards and supervisory review models
Develop, initiate, and revise policies and procedures for the social media compliance program; respond to regulatory inquiries, conduct audits, and recommend remediation for violations
Review Field and Home Office social media content using Patrol and Sprinklr; advise partners on compliant use of social platforms and alternate tools
Provide firm and advisor-level training, including enablement decks and onboarding for new Agency Supervisory Officers
Serve as Patrol system administrator, troubleshooting system issues and leading weekly calls
Support Broker Dealer Surveillance systems (Proofpoint, Proofpoint Patrol); manage rule sets, hierarchies, and vendor interactions
Educate and inform senior and executive management on compliance issues to avoid regulatory, financial, and reputational exposure
Proactively interpret regulations and company policy for staff and management
Qualification
Required
Bachelor's Degree
5+ years of experience in securities compliance or law
5+ years of broker dealer background in securities product offerings and investment advisory business practices
FINRA Series 7 and 24 required at time of application to handle supervisory and surveillance responsibilities
Preferred
Graduate degree or advanced professional designation preferred
10+ years of experience working in financial services, specifically with broker dealers or investment advisor business practices
Experience with business-related technology tools is preferred
Ability to identify regulatory risks and supervisory control weaknesses to management
Skill in developing and negotiating creative, practical compliance solutions
Strong written and verbal communication skills; ability to generate precise documentation
Analytical skills to identify and address a full range of compliance exposures
Ability to manage multiple and changing priorities
Excellent interpersonal, negotiation, and risk assessment skills
Benefits
Networking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQIA+, veteran and disability-focused Business Resource Groups
Access to learning content on Degreed and other informational platforms
Your ethics and integrity will be valued by a company with a strong and stable ethical business with industry leading pay and benefits
Company
MassMutual
MassMutual is a mutual life insurance company that provides investment management and trust services.
5001-10000 employees
Funding
Current Stage
Late StageLeadership Team
Eddie Ahmed
Chairman, President & CEO
Roger W. Crandall
Chairman, President & CEO
Recent News
2026-01-18
2025-12-25
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